Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
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Gregory Harrison: Why Did El Dorado Advisor Resign from Ameriprise?
El Dorado, Arkansas financial advisor Gregory Harrison (CRD# 5804566) recently resigned from his former position at Ameriprise Financial Services in relation to allegations he violated company policies. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with International Assets Advisory.
Tony Keena: Oil & Gas Complaint Against Keena Wealth Advisor
Winter Park, Florida financial advisor Tony Keena (CRD# 5416008) has received an investor complaint over an oil and gas investment. Financial Industry Regulatory Authority records show that he is a representative of Keena Wealth, offering securities and advisory services through Lincoln Financial Securities Corporation.
FINRA Suspends Sanjay Bhargava, Former Securities America Advisor
Independence, Ohio financial advisor Sanjay Bhargava (CRD# 4495397) allegedly participated in improper private securities transactions, according to a recent FINRA. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Regulus Financial Group and Regal Investment Advisors, though he is currently under suspension from… Read More »
Paul Desir: FINRA Suspends Richfield Orion Advisor
Huntington, New York financial advisor Paul Desir (CRD# 5559016) allegedly engaged in excessive and unsuitable trading, according to a recent regulatory enforcement action suspending him from acting as a broker. Financial Industry Regulatory Authority records show that prior to his suspension, he was a broker with Richfield Orion International.
Robert Rasbach: $100K Energy 11 Complaint Against NYC Advisor
Benchmark Investments financial advisor Robert Rasbach (CRD# 1204704) has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker based in New York City, having formerly been registered with David Lerner Associates in Westport, Connecticut.
Joseph Roop: Investor Complaints Against Ex-Kalos Advisor
Coppell Advisory Services advisor Joseph Roop (CRD# 2774470) has received multiple investor complaints as well as a regulatory enforcement action alleging he engaged in misconduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the Belmont, North Carolina representative was previously a broker with Dempsey Lord Smith and Kalos Capital.
Eric Duncan: $1.3 Million Complaint Against Team Duncan Advisor
Denver financial advisor Eric Duncan (CRD# 4168496) recently received an investor complaint alleging that his investment advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Moloney Securities, doing business as Team Duncan Financial.
James Schrack: GWG L Bond Complaint Against Schrack Financial Advisor
Spokane Valley financial advisor James Schrack (CRD# 2620270) recently received an investor complaint alleging he made an unsuitable investment recommendation. Financial Industry Regulatory Authority records show that he is a broker with Schrack Financial Services Group, which offers securities through Center Street Securities.
Investment Planners’ Christopher McKenzie: $499K Oil & Gas Complaint
Quincy, Illinois financial advisor Christopher McKenzie (CRD# 4164821) recently received an investor complaint alleging nearly half a million dollars in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Investment Planners and IPI Wealth Management, respectively.
Michael Mandarino: GWG Complaint Against Apollo Beach Advisor
Michael Mandarino (CRD# 4443175), a broker and an investment advisor with G.A. Repple & Company, has received an investor complaint concerning GWG L bonds. Financial Industry Regulatory Authority records show that the financial advisor is based in Apollo Beach, Florida.
